0001209191-21-069154.txt : 20211210 0001209191-21-069154.hdr.sgml : 20211210 20211210212242 ACCESSION NUMBER: 0001209191-21-069154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211208 FILED AS OF DATE: 20211210 DATE AS OF CHANGE: 20211210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lettmann Jason CENTRAL INDEX KEY: 0001688269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 211486807 MAIL ADDRESS: STREET 1: C/O RA PHARMACEUTICALS, INC. STREET 2: 87 CAMBRIDGEPARK DRIVE CITY: CAMBRIDGE STATE: MA ZIP: 02140 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALX ONCOLOGY HOLDINGS INC CENTRAL INDEX KEY: 0001810182 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 850642577 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 323 ALLERTON AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-466-7125 MAIL ADDRESS: STREET 1: 323 ALLERTON AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-12-08 0 0001810182 ALX ONCOLOGY HOLDINGS INC ALXO 0001688269 Lettmann Jason C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK CA 94025 1 0 1 0 Common Stock 2021-12-08 4 S 0 35836 33.23 D 2232251 I See footnote Common Stock 2021-12-08 4 S 0 4883 33.23 D 304339 I See footnote Common Stock 2021-12-08 4 S 0 1531 33.80 D 2230720 I See footnote Common Stock 2021-12-08 4 S 0 208 33.80 D 304131 I See footnote Common Stock 2021-12-09 4 S 0 11452 31.08 D 2219268 I See footnote Common Stock 2021-12-09 4 S 0 1560 31.08 D 302571 I See footnote Common Stock 2021-12-09 4 S 0 42203 32.06 D 2177065 I See footnote Common Stock 2021-12-09 4 S 0 5751 32.06 D 296820 I See footnote Common Stock 2021-12-09 4 S 0 14028 32.73 D 2163037 I See footnote Common Stock 2021-12-09 4 S 0 1911 32.73 D 294909 I See footnote Common Stock 2021-12-10 4 S 0 7093 30.77 D 2155944 I See footnote Common Stock 2021-12-10 4 S 0 967 30.77 D 293942 I See footnote Common Stock 2021-12-10 4 S 0 15942 31.55 D 2140002 I See footnote Common Stock 2021-12-10 4 S 0 2172 31.55 D 291770 I See footnote Common Stock 2021-12-10 4 S 0 88 32.16 D 2139914 I See footnote Common Stock 2021-12-10 4 S 0 12 32.16 D 291758 I See footnote Common Stock 2023469 I See footnote Common Stock 120212 I See footnote Common Stock 107220 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.70 to $33.69 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The shares are held of record by shares held of record by Lightstone Ventures, LP (LV LP) for which LSV Associates, LLC (LSV Associates) is the General Partner. The reporting person shares voting and dispositive power with respect to the shares held of record by LV LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. The shares are held of record by shares held of record by Lightstone Ventures (A), LP (LV(A) LP) for which LSV Associates is the General Partner. The reporting person shares voting and dispositive power with respect to the shares held of record by LV(A) LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.70 to $33.92 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.50 to $31.49 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.50 to $32.49 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.50 to $33.25 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.12 to $31.09 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.15 to $32.01 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The shares are held of record by Lightstone Ventures II, LP (LV II LP). As a managing director of LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LV II LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. The shares are held of record by Lightstone Ventures II(A), LP (LV II(A) LP). As a managing director of LSV Associates II, the reporting person shares voting and dispositive power with respect to the shares held of record by LV II(A) LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. /s/ Peter Garcia, by power of attorney 2021-12-10